(a) Failure to cooperate in the exchange of documents and information as required under the Code may result in sanctions. The panel may issue sanctions against any party in accordance with Rule 12212(a) for:
• Failing to comply with the discovery provisions of the Code, unless the panel determines that there is substantial justification for the failure to comply; or
(a) Failure to cooperate in the exchange of documents and information as required under the Code may result in sanctions. The panel may issue sanctions against any party in accordance with Rule 13212(a) for:
• Failing to comply with the discovery provisions of the Code, unless the panel determines that there is substantial justification for the failure to comply; or
Disclaimer for investor tools and calculators
I would like clarification on a timeline for these changes to be implemented. How realistic is this change and how far along is it? In addition, do you have any information on what the history would look like and if any historical data will be freely available to us or is it going to be only on a go-forward basis?
Financial Industry Networking Directory (FIND™) Interest Form for Firms let's firms subscribe to The Financial Industry Networking Directory (FIND)™, a complementary FINRA subscription service designed to connect individuals who are enrolled to take the Security Industry Essentials® (SIE®) exam with firms that are recruiting for employment and internship opportunities.
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA MediaSource at (240) 386-4200.
FINRA Announces New Electronic Process for Submission of Notice and Information Relating to Distributions Subject to SEC Regulation M
The Joint NASD/Industry Task Force recommended two changes to mutual fund confirmations that are intended to help investors determine whether they received all the breakpoints discounts to which they were entitled on each mutual fund transaction.
The New Account Application Template is a voluntary model brokerage account form that is provided as a resource to firms when they design or update their new account forms.
FINRA has implemented Form BR (Uniform Branch Office Registration Form) functionality enhancements for initial Form BR submissions that allow firms to de-select FINRA when establishing a new location designated as an RSL that needs to be registered or notice filed with a jurisdiction, the New York Stock Exchange (NYSE), or both, as a branch office. Further information on these functionality enhancements and how firms should complete an initial Form BR is available in the Frequently Asked Questions about Residential Supervisory Locations (RSLs).
